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SR-FINRA-2020-023

Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 98.52 KB New
Notice of Filing and Immediate Effectiveness PDF - 255.24 KB New